| 10-01011 | 11/14/2011 | Claimant(s): Alyssa DiRienzo, Amara DiRienzo, Cynthia Pilot, Deborah Holstein, Deborah Lutz, Frederick DiRienzo, Johanna C. & Frederick H. DiRienzo, The 1992 Irrevocable Trust for the Benef
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Colin Cookson, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., National Financial Services LLC
Respondent Lawyers(s): Mark S. Cohen, Michael G. Shannon, Nicki Samson
Arbitrator(s): Evonne W.J. Tolbert, Alun Hywel Jones, Kevin B. Naughten
Hearing Site: New York, NY
|  | $0 |
| 10-03972 | 11/14/2011 | Claimant(s): Aviva Apel
Claimant Lawyers(s): David J. Shea
Respondent(s): Brian Gold, Izhar Shefer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Gary W. Pollack, Daniel P. Lund, Robert Charles Stamm
Hearing Site: Miami, FL
| | $0 |
| 10-05661 | 11/14/2011 | Claimant(s): Mark Feldberg Separate Property Trust
Claimant Lawyers(s): Mark Feldberg
Respondent(s): GBS Financial Corp.
Respondent Lawyers(s): Donald G. Gloisten
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | $0 |
| 09-06463 | 11/11/2011 | Claimant(s): Charles Young, Charles J. Young DDS Inc. PSP
Claimant Lawyers(s): Michael Blumenfeld, Robert Girard
Respondent(s): Gordon Carlson
Respondent Lawyers(s): Kevin L. Wheeler
Arbitrator(s): James A. Sigler, Henry Marris Wollman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00168 | 11/11/2011 | Claimant(s): Chris Williams, David Beecham, Deborah Williams, Jerry Davidson, Jessie Beecham, Kathleen Davidson, Class Action Watch, David Beecham IRA, Jessie Beecham IRA, Davidson Family Trust UADTD 10.27.1979, Williams Family Trust
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Helen Marinak Blohm, Gary A. Hooker, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03084 | 11/11/2011 | Claimant(s): Carolyn Smith, John Smith, Sr. (Annuity), Carolyn K. Smith IRA, John Edward Smith, Sr. IRA
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Alison Hardage, Muriel Desloovere, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $55,861 |
| 10-03922 | 11/11/2011 | Claimant(s): Rosemary Intagliata
Claimant Lawyers(s): Michael M. Steinmetz
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Justin I Sacca
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
| | $0 |
| 09-02926 | 11/10/2011 | Claimant(s): Margaret Noble
Claimant Lawyers(s): Margaret K Noble
Respondent(s): Edward Rosenberg, Richard Angelotti
Respondent Lawyers(s): Marc Dobin, Richard Henry Angelotti
Arbitrator(s): Muriel Desloovere, Oliver J. Janney, Keith M. Crouse
Hearing Site: Tampa, FL
| | Expungement |
| 10-02669 | 11/10/2011 | Claimant(s): Steve Stolaruk
Claimant Lawyers(s): Charles M. Penzien
Respondent(s): Kenneth Warnick, Paul Stanley, Equitas America
Respondent Lawyers(s): Brian Hemker, David M. Saperstein, Mark L. Kowalsky
Arbitrator(s): Jeffry M. Bauer, Kenneth Rochlen, Peter C. Rageas
Hearing Site: Detroit, MI
| | $200,000 |
| 11-01551 | 11/10/2011 | Claimant(s): Eileen B. Cohen and Allen A. Cohen JTWRO
Claimant Lawyers(s): Marvin T. Bornstein
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Mary Margaret Bush
Hearing Site: Reno, NV
| | $12,617 |
